party's own benefit or in capacity of an agent of a non-resident third party; (2) providing service of securities borrowing and lending by securities depositary center to its members, if securities
/ Derivatives Businesses Securities Brokerage Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed
งาน (IT usage capacity) รวมทั้งจัดส่งและเปิดเผยข้อมูลคุณภาพการให้บริการ แบบรายงานสถานะและการลงทุนของทุกการจัดการเงินทุนสินทรัพย์ดิจิทัล แบบรายงานการปฏิบัติหน้าที่ของผู้แนะนำรายชื่อลูกค้า ( introducing
/ Registration • Brokerage о Securities Brokerage о Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing
broker or an agent to effectuate trading in debt securities between dealers in normal course of business, the service of which is carried out by collecting information on offer for sale or purchase of such
capacity to continuously and reliably manage the trust according to the trust instrument. In case of a non-asset company, the SEC prescribes additional requirements as follows: A paid-up capital of not
such inside information; (4) Director, sub-committee member, representative of a juristic person, agent, worker, employee, advisor or operator in a governmental agency, the SEC Office, the Securities